Background Investigation Manual Guidelines For The .

2020

[Back of cover]

POST Background Investigation Manual:Guidelines for the Investigator 2020Copyright 2020California Commission on Peace Officer Standards and TrainingPublished 1991Revised 1992, 1994, 1995, 2006, 2007, 2009, 2012, 2013, 2018,Jan 2019, Mar 2019, Jan 2020All rights reserved. This publication may not be reproduced, in whole or in part, in anyform or by any means electronic or mechanical or by any information storage andretrieval system now known or hereafter invented, without prior written permission ofthe California Commission on Peace Officer Standards and Training, with the followingexception: California law enforcement agencies in the POST peace officer program andPOST-certified training presenters are hereby given permission by POST to reproduceany or all of the contents of this manual for their internal use.All other individuals, private businesses and corporations, public and private agenciesand colleges, professional associations, and non-POST law enforcement agencies instate or out-of-state may print or download this information for their personal use only.Infringement of the copyright protection law and the provisions expressed here and onthe POST website under Copyright/Trademark Protection will be pursued in a court oflaw.

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POSTCOMMISSIONERSJoyce DudleyChairDistrict AttorneySanta Barbara CountyRick BrazielVice ChairEducatorHumboldt State UniversityAlan BarcelonaSpecial AgentDepartment of JusticeLai Lai BuiDetectiveSacramento Police DepartmentThomas ChaplinChiefWalnut Creek Police DepartmentBarry DonelanSergeantOakland Police DepartmentRobert T. DoyleSheriffMarin County Sheriff’s DepartmentGeoff LongPublic MemberJohn McMahonSheriffSan Bernardino County Sheriff’s DepartmentJethroe MoorePublic MemberJames O’RourkeSergeantCalifornia Highway PatrolBatine RamirezSergeantPlacer County Sheriff’s DepartmentLaurie SmithSheriffSanta Clara CountyWalt VasquezChiefLa Mesa Police DepartmentXavier BecerraEx Officio MemberAttorney Generali

POSTMISSION STATEMENTThe mission of the California Commission on PeaceOfficer Standards and Training (POST) is to continuallyenhance the professionalism of California lawenforcement in serving its communities.

PREFACEGovernment Code §1031 requires a pre-employment background investigation for peaceofficers; this requirement is further defined in Commission Regulation 1953. Similarly, PenalCode §13510 authorizes POST to establish minimum standards for public safety dispatchers;those standards — including a background investigation — are defined in CommissionRegulations 1956-1960.The POST Background Investigation Manual: Guidelines for the Investigator is intended toprovide guidance to assist in satisfying these requirements and in otherwise ensuring thatthe background investigations of California peace officer and public safety dispatchercandidates are thorough, lawful and effective. The manual was developed in conjunction withand in support of Commission regulations, personal history statements, and evaluationcriteria, all of which are described herein.Although these guidelines are detailed and comprehensive, this manual is intendedas a resource rather than a replacement for adequate training and other needed forms ofagency support for background investigators. Comments and suggestions concerning theseguidelines should be directed to your Regional Consultant.MANUEL ALVAREZ, JRExecutive Director2019iii

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ACKNOWLEDGEMENTThe Background Investigation Manual: Guidelines for the Investigator provides acomprehensive guide for conducting background investigations of peace officer and publicsafety dispatcher candidates. The strong foundation set forth by the original authors–Shelley Spilberg, Ph.D., Sid Smith and Greg Murphy – has become a model for conductingbackground investigations in California and nationwide.Continuing this legacy, the 2018 edition provides current, relevant and comprehensiveguidance to ensure that background investigators have the tools necessary to facilitateinvestigations that are complete, thorough and fair as provided for in POST regulation, andstate and federal laws.This revision would not have been possible without the guidance and input of Gary Barner,Sid Smith, Maureen Swanson, and Mario Yagoda whose practical knowledge andexpertise in conducting background investigations and providing instruction in POSTcertified background investigation courses, have proved invaluable to this effort.POST Regional Consultants Jeff Dunn, Christine Ford, Don Lane, Karen Lozito, GaryManini, Marty Picone, Charles Sandoval, and Valna Wilson were a constant resource offeedback from the field, which helped shape the guidance of this Manual, and William“Toby” Darden was instrumental in providing legal counsel with respect to relevantstatutes and case law.Finally, completion of this project would not have been possible without the continuedsupport of POST management, including Bureau Chiefs Ralph Brown and Phil Caporale,and Assistant Executive Directors Scott Loggins and Maria Sandoval.Melani SingleyProject Managerv

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ContentsCONTENTSPOST Commissioners . iPreface . iiiAcknowledgments . vCHAPTER 1. INTRODUCTION 1-1FOCUS OF THE MANUAL. 1-1THE ROLE OF POST. 1-3POST VS. AGENCY CANDIDATES SCREENING CRITERIA . 1-4ORGANIZATION OF THE MANUAL. 1-5CHAPTER 2. PEACE OFFICER AND PUBLIC SAFETY DISPATCHER BACKGROUNDINVESTIGATION DIMENSIONS 2-1MORAL CHARACTER . 2-4HANDLING STRESS AND ADVERSITY . 2-7WORK HABITS . 2-8INTERACTIONS WITH OTHERS . 2-10INTELLECTUALLY-BASED ABILITIES . 2-12CHAPTER 3. LEGAL QUALIFICATIONS AND STATUTORY FRAMEWORK 3-1OVERVIEW OF PRE-EMPLOYMENT SCREENING REQUIREMENTS . 3-1Peace Officers . 3-1 Statutory Requirements . 3-1 Regulatory Requirements. 3-2Public Safety Dispatchers . 3-4 Statutory Requirements . 3-4 Regulatory Requirements. 3-4POST BACKGROUND INVESTIGATION REGULATIONS. 3-5Background Investigation Evaluation Criteria . 3-5Personal History Statements . 3-6Collection of Background Information: Pre- and Post-Conditional Offer ofEmployment . 3-6Areas of Investigation . 3-6Background Investigation Updates . 3-7Documentation and Reporting . 3-8Disclosure Provisions: Differences between Peace Officers and PublicSafety Dispatchers . 3-8PRIVACY AND CONFIDENTIALITY LAWS . 3-9CONFIDENTIALITY VS. LEGAL PRIVILEGE . 3-9Guidelines for the Investigatorvii

Background Investigation ManualChapter 3 continuedEMPLOYMENT DISCRIMINATION LAWS AND REGULATIONS . 3-10DISABILITY DISCRIMINATION LAWS AND REGULATIONS . 3-11The Americians with Disabilities Act (ADA) and the California Fair Employmentand Housing Act (FEHA) . 3-11Who Is Protected . 3-11Who Is Not Protected . 3-12Essential Job Functions . 3-12Reasonable Accommodation . 3-13THE CONDITIONAL OFFER OF EMPLOYMENT: PRE- AND POST-OFFER INQUIRIES. 3-13The Pre-Conditional Offer Stage. 3-13The Post-Conditional Offer Stage . 3-14BACKGROUND INVESTIGATION INQUIRIES: PRE- OR POST-OFFER? . 3-15Frequently Asked Questions . 3-16CHAPTER 4. THE BACKGROUND INVESTIGATION PROCESS 4-1PRIOR TO INITIATING THE INVESTIGATION . 4-1THE BACKGROUND STEPS . 4-2viiiStep 1:Preparation of the Packet . 4-3Step 2:Meet with the Candidate to Explain the Packet . 4-4Step 3:Review the Personal History Statement and Other Completed/Returned Materials. 4-4 Document Analysis . 4-5Step 4:The Initial Background Interview . 4-6 Interviewing . 4-7 Preplanning . 4-7 Beginning the Interview . 4-7 Posing Questions. 4-8 Question Phrasing . 4-8 Follow-up/Probing . 4-8 Interviewers’ Nonverbal Behavior . 4-9 Deception in the Interview . 4-9Step 5:Collect and Submit Candidate Fingerprints . 4-10Step 6:The Investigative Process . 4-10 Cybervetting . 4-11Step 7:Detection of Deception Examinations . 4-12Step 8:Discrepancy Interview . 4-12Step 9:Report and Background Packet Preparation . 4-12 The Background Package . 4-13 Report Recommendations . 4-14 Record Retention . 4-15

ContentsChapter 4 continuedTHE CONDITIONAL OFFER OF EMPLOYMENT . 4-15MEDICAL AND PSYCHOLOGICAL EVALUATIONS AND BACKGROUNDINVESTIGATION FOLLOW-UP . 4-16MEDICAL AND PSYCHOLOGICAL EXAMINATION DOCUMENTATION. 4-16SECOND OPINIONS. 4-17FINAL EVALUATION – FORMAL OFFER OF EMPLOYMENT . 4-17CHAPTER 5. AREAS OF INVESTIGATION AND THE POST PERSONAL HISTORYSTATEMENTS 5-1THE POST PERSONAL HISTORY STATEMENT (PHS) . 5-1PHS Section 1: Personal. 5-3 Verifying Identity . 5-3 Discrepancies in Names – Use of an Alias . 5-4 Citizenship . 5-4 Birth Place and Birth Date . 5-5 Social Security Number. 5-5 Physical Description and Photographs . 5-5PHS Section 2: Relatives and References. 5-5 Family Members . 5-6 Marital Status . 5-6 Former Spouse(s)/Former Registered Domestic Partner(s) . 5-7 Children . 5-7 Other References . 5-7PHS Section 3: Education. 5-8 Verifying Minimum Requirements – Peace Officers . 5-8 Related Educational Background Inquiries . 5-9PHS Section 4: Residence . 5-10PHS Section 5: Experience and Employment. 5-10 General Areas of Employment History Inquiry . 5-11 Employers . 5-11 Supervisors and Co-Workers . 5-13 Periods of Unemployment . 5-13 Reason for Leaving a Job. 5-14 Current Employer. 5-14 Rejection from Another Peace Officer or Public Safety Dispatcher Position . 5-14PHS Section 6: Military . 5-14 Selective Service Registration . 5-15 Military Service History. 5-15 DD-214 . 5-16 Re-Entry Codes . 5-16 Type of Discharge/Character of Service . 5-16 Current Military Status . 5-17 Contact Past Commanding Officers or Military Acquaintances . 5-17Guidelines for the Investigatorix

Background Investigation ManualChapter 5 continuedPHS Section 7: Financial . 5-17 Source of Income . 5-18 Expenditures . 5-18 Bankruptcy . 5-18 Bills Turned Over for Collection and Repossessions. 5-18 Garnishments . 5-19 Tax Delinquencies . 5-19 Consumer Credit Reports . 5-19 Practical Considerations . 5-20PHS Section 8: Legal . 5-20 Legal History Search Guidelines. 5-21 Felony Convictions . 5-21 Misdemeanor Convictions . 5-22 Sealed and Expunged Records . 5-22 Practical Considerations . 5-24 Civil Court Action .

The POST Background Investigation Manual: Guidelines for the Investigator is intended to provide guidance to assist in satisfying these requirements and in otherwise ensuring that the background investigations of California peace officer and public safety dispatcher candidates are thorough, lawful and effective. The manual was developed in conjunction with and in support of Commission .